Broker-Dealers / Investment Advisers

We represent a diverse group of financial market participants, including broker-dealers, investment advisers, and their employees. A substantial portion of the firm’s practice is devoted to litigation and arbitration of claims related to the securities industry, and to securities industry regulatory matters involving the U.S. Securities and Exchange Commission, FINRA, other self regulatory organizations and state securities regulators.

The firm has decades of securities industry litigation experience. Our lawyers have represented broker-dealers in defending and asserting claims related to customer accounts, and we have represented parties in many industry disputes, including employment disputes. We have also represented individuals, broker-dealers and investment advisers in connection with a wide variety of securities industry regulatory investigations and other matters.